Nylife Securities LLC

There are Recent Customer Complaints with Broker Richard Jones in Firm Nylife Securities LLC

March 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jones (Jones), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,221.67 on February 16, 2021.

Customer alleges that he proceeded with the purchase of a Variable Annuity in February 2015 with the understanding that his rate of return would be a minimum of 4% and that the tax consequences of any withdrawals or reallocation into a bond portfolio were not explained. Customer has requested a refund of his money without penalty.Customer has reiterated his complaint on 2/16/2021 and alleged that he was sold the wrong product.

Broker John Landas in Nylife Securities LLC Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Landas (Landas), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Landas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.

Customer alleges the Variable Universal Life insurance policy purchased in November 2025 was not signed by her and she is requesting the policy to be cancelled.

Broker Craig Lafferty in Nylife Securities LLC Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Lafferty (Lafferty), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lafferty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Customer alleges the non-registered Fixed Annuity that was purchased in December 2018 included a transfer of funds from MetLife Securities that was conducted without his approval. The transfer document from MetLife to New York Life contains an electronic signature that the customer further alleges is not his signature and was not authorized by him.

Broker Loann Thompson in Nylife Securities LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loann Thompson (Thompson), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 23, 2021.

The customer alleges the variable annuity she purchased in or around February 2018 was not in line with her stated financial objectives. Specifically, the customer alleges she communicated the need for liquidity and now faces early withdrawal penalties from the IRS.

There are Recent Customer Complaints with Broker Blaine Johnson in Firm Nylife Securities LLC

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blaine Johnson (Johnson), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Customer alleges that a Variable Universal Life insurance policy he purchased in April 2016 is not appropriate for him. Customer wants the policy cancelled without fees or expenses.

Broker Victoria Staudinger in Nylife Securities LLC Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Staudinger (Staudinger), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Staudinger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,440,833.33 on April 30, 2021.

The customers allege that beginning in February 2016, as a result of misrepresentations and without full disclosure, they set up trusts, funded by life insurance, and donor-advised funds that promised substantial charitable deductions that would reduce federal income taxes.

There are Recent Customer Complaints with Broker Mark Haye in Firm Nylife Securities LLC

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Haye (Haye), previously associated with Nylife Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Haye recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 06, 2021.

The policyowner alleges that when she transferred her $29,000 IRA in March of 2017 for the benefit of an account with an IPR rider (14 days prior to her 72nd birthday), the RR did not disclose that exercising the IPR would lock funds in until 15 years in the future to almost age 87. She also claims that the loss of money to transfer out of this policy was not disclosed and requests assistance to resolve this matter.

Broker Ronald Hoffman in Nylife Securities LLC Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hoffman (Hoffman), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on May 17, 2021.

Trustee alleges the liquidation of the account was delayed and she did not authorize the March 23, 2020 sale of UIT shares, which resulted in a loss of $300,000.

Broker Edward Obrien in Nylife Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Obrien (Obrien), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obrien recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $9,500.00 on June 09, 2021.

Customer alleges the Registered Representative did not inform him of the front-end sales charge associated with the A share mutual fund he purchased on or around January 5, 2021.

Broker Mark Gardner in Nylife Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Gardner (Gardner), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gardner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 08, 2021.

Customer alleges that from February 2010 though March 2018, the recommendation to purchase 4 variable annuities was not an appropriate investment strategy. Customer is seeking the waiver of all charges and fees associated with the surrender of the annuities.